Prince, Alexander Gilbert
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2011-05-23 | 2013-07-01 | Rep | Dealing in securities | 2011-05-23 | 2013-07-01 | Rep | Dealing in futures contracts | 2014-09-15 | 2016-03-29 | Rep | Dealing in securities | 2014-09-15 | 2016-03-29 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2016-06-30 | 2022-06-30 | Rep | Dealing in futures contracts | 2021-02-02 | 2022-06-30 | Rep | Dealing in futures contracts | 2023-07-14 | 2023-07-21 | Rep | Dealing in securities | 2023-07-14 | 2023-07-21 | Rep | Dealing in futures contracts | 2023-10-20 | 2023-10-27 | Rep | Dealing in securities | 2023-10-20 | 2023-10-27 |
| 3 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2021-02-02 | 2022-06-30 | Rep | Dealing in securities | 2021-02-02 | 2022-06-30 | Rep | Dealing in futures contracts | 2023-07-14 | 2023-07-21 | Rep | Dealing in securities | 2023-07-14 | 2023-07-21 | Rep | Dealing in futures contracts | 2023-10-20 | 2023-10-27 | Rep | Dealing in securities | 2023-10-20 | 2023-10-27 |
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